Laws & RegulationsCâu 32 / 100
An Administrator's authority to conduct investigations and subpoena witnesses generally extends to conduct that:
a.Occurs only within the Administrator's own state and nowhere else
b.Originates in, is directed to, or is accepted within the state, even across state lines
c.Has no connection to the state
d.Involves only federal covered securities
Giải thích
The Administrator has jurisdiction over an offer or sale that originates in, is directed into, or is accepted within the state. This includes cross-border activity touching the state. The Administrator may investigate and subpoena to enforce the Act within that jurisdictional reach.
Trích dẫn luật: Uniform Securities ActLuyện miễn phí toàn bộ 100 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- Which threshold generally determines whether a mid-sized adviser registers with the SEC rather than the states?
- An agent effects a transaction that is not recorded on the books of the employing broker-dealer, without the firm's knowledge or authorization. This is best described as:
- The definition of 'sale' or 'offer to sell' under the Uniform Securities Act generally includes:
- A broker-dealer wishes to withdraw its registration. Under the Uniform Securities Act, withdrawal generally becomes effective:
- An adviser engages in an agency cross transaction, arranging a trade between two of its advisory clients. To do this properly, the adviser generally must:
- Under the Uniform Securities Act, the least intrusive method of state registration for a well-established issuer with a strong track record filing a federal statement is:
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